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The Text of the Dodd-Frank Act
International Association of
Risk and Compliance Professionals (IARCP)
Dodd Frank Act Section 919B
SEC. 919B. STUDY ON IMPROVED INVESTOR ACCESS
TO INFORMATION ON
INVESTMENT ADVISERS AND BROKER-DEALERS.
(a) STUDY.—
(1) IN GENERAL.—Not later than 6 months
after the date of enactment of this Act, the Commission shall
complete a study, including recommendations, of ways to improve
the access of investors to registration information (including
disciplinary actions, regulatory, judicial, and arbitration
proceedings, and other information) about registered and
previously registered investment advisers, associated persons of
investment advisers, brokers and dealers and their associated
persons on the existing Central Registration Depository and
Investment Adviser Registration Depository systems, as well as
identify additional information that should be made publicly
available.
(2) CONTENTS.—The
study required by subsection (a) shall include an analysis of the
advantages and disadvantages of further centralizing access to the
information contained in the 2 systems, including—(A)
identification of those data pertinent to investors; and
(B) the identification of the method and format for displaying and
publishing such data to enhance accessibility by and utility to
investors.
(b) IMPLEMENTATION.—Not
later than 18 months after the date of completion of the study
required by subsection (a), the Commission shall implement any
recommendations of the study.
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